rules for export control compliance

Export Control Compliance: 10 Principles For Employees

who this class is for

Employees and managers

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About this micro-class

Export control compliance ensures that we understand our responsibilities and mitigate any risks associated with international trade.

Export Control Compliance Principles

1. Understanding Export Controls

Export controls are regulations imposed by the U.S. government to protect national security, foreign policy, and economic interests. They apply to the export of goods, technology, software, and services to foreign countries or foreign nationals.

2. Key Regulations

The primary regulatory framework is administered by the Bureau of Industry and Security (BIS) under the Department of Commerce, and the Directorate of Defense Trade Controls (DDTC) under the Department of State. Both agencies regulate different types of goods and technologies.

BIS controls the export of “dual-use” items—items with both civilian and military applications.

DDTC controls the export of defense articles and services.

3. Restricted Parties

It’s crucial to screen all parties involved in a transaction against government lists of restricted and denied parties. This includes individuals, companies, and organizations with whom we cannot engage in business due to national security or other concerns.

4. Classifying Items

Properly classify all products, technologies, and services you deal with. The Export Control Classification Number (ECCN) is assigned to each item, indicating the level of control required for export.

5. License Requirements


Understand when an export license is required. Some items may need specific approvals before they can be exported to certain countries, particularly those with high-risk profiles.

6. Technology Transfer

Exercise caution when sharing technology or technical data with foreign nationals, even within the company. It’s essential to assess and control access based on citizenship and the nature of the information.

7. Training and Awareness

Regularly participate in training programs to stay updated on changes in regulations. Awareness is key to ensuring compliance across all functions within the company.

8. Reporting and Documentation

Maintain accurate and complete records of all export transactions. This includes contracts, licenses, shipping documents, and any communications related to exports.

9. Due Diligence

Before entering into any international business transactions, conduct thorough due diligence to ensure compliance with all applicable export control laws and regulations.

10. Reporting Violations

If you suspect a violation or encounter a situation that raises concerns, report it immediately to your compliance officer or supervisor. Timely reporting is crucial for addressing issues and maintaining the integrity of your export control program.

Test your knowledge with a quick test and earn a free micro-certificate

Shop for etiquette, behavioral, and contextual signs

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